Earl M. Collier Jr. - 14 Feb 2023 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role: Director
Signature: /s/ Linda Marban, Attorney-in-Fact
Issuer symbol: CAPR
Transactions as of: 14 Feb 2023
Net transactions value: +$1,947
Form type: 4
Filing time: 15 Feb 2023, 19:00:17 UTC
Previous filing: 05 Jan 2023
Next filing: 12 Oct 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAPR	Common Stock	Options Exercise	$1,947	+1,401	+9.1%	$1.39	16,856	14 Feb 2023	Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	CAPR	Stock Option (Right to Buy)	Options Exercise	$0	-1,401	-100%	$0.000000^*	0	14 Feb 2023	Common Stock	1,401	$1.39	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.
F2	25% of the shares vested immediately, with the remainder vesting monthly over 25 months commencing May 1, 2013.